KL
Firm Information
Compensation
Fixed/Hourly
Number of Advisors
8 advisors
Number of Clients
70 clients
Average Client Portfolio
Not specified
Fee Structure
This document does not contain any fee information. It is a brochure supplement providing information about the individuals covered.
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Advisor Information
Office location
888 SAN CLEMENTE DRIVE, Suite 400, Newport Beach, CA, 92660
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Kristin is the Chief Compliance Officer (CCO) for Roth Canada, Inc., a Canadian Investment Dealer, since 2019. Her duties include all compliance activities and take about 10-20% of her time.
Employment History
Current Registrations
Roth Capital Partners, LLC
October 2005 - Present · 20 yrs 3 mos
Roth Capital Partners, LLC Broker
May 1995 - Present · 30 yrs 8 mos
State Registrations2 states
CAFL
AdvisorBrokerBoth
Exams
No exam information available for this advisor.